I 5.13 Theoretical Coding Grounded Theory Andreas Böhm * 1 Procedure according to grounded theory 2 limitations of the method 3 Developments and perspectives Barney Glaser and Anselm Strauss (1967) created in their grounded theory a comprehensive idea of the epistemological anil research process in the social sciences (see 2.1, 6.6). it extends from the first ideas of a research question to Die production of the report on results (see 5.22). Data collection, analysis and formulation of theory are closely interrelated, The label grounded theory is often vised to refer to lx»h the method and also the research result that is sought through the use of this theory. On the basis of empirical research in a particular object area it mak« it possible to formulate a valid theory rúr this area consisting of interrelated concepts and suitable for the production of a description and an explanation of the social phenomena investigated. 1 PROCEDURE ACCORDING TO GROUNDED THEORY Grounded theory is a Kuiutichrc (art), and so its procedure cannot be learned in the form of prescriptions. A clear example ot the use of the procedure may be found in the chapter by Hlldenbrand about Anselm Strauss (see 2.1), The following summary of Che procedure relies in particular on the presentations of Glaser (1978), Strauss (1987) and Strauss and Cotbin (1990). The data material here is text in the broader sense of the term (transcribed interviews, field note*, observation reports, and so on). The ■no1 Text Analysis in 2 .'0 274 274 data collection is oriented to theoretical sampling (see 4.4): in the early stages as many different people, situations and documents as possible are selected to obtain data covering rhe complete spectrum ol the research question. Subsequently data are sought that will confirm ot modify the (provisional) categories of the theory that have already been developed. 'Sensitising concepts' as guiding principles are the starting point of the research and have the character of open questions ('what happens and how?'). The researchers' own questions, their prior understanding and. related to this, their own prejudices concerning the research issue can be worked out by means of brainstorming and group discussions. The reading of relevant literature also belongs to this (specialist publications, but also journalistic work, novels iind stories). The most important intellectual activity in the analytical process consists of comparison. This refers less to the search lor identical contents than to the search for similarities and differences (Busse 1994). Coding may be descril>cd as the deciphering or interpretation of data and includes the naming of concepts and also explaining and discussing them in more detail. The explanations are reflected in coding notes. The result of coding is then a list of terms as well as an explanatory text. Three types of coding may be distinguished that may he partially considered as phases in the research process - open, axial and selective coding (see THEORETICAL CODING; TEXT ANALYSIS IN GROUNDED THEOBY (wj) below). 'Code' is a technical term from the analytical procedure and signifies a named concept' in the data indicators are sought of the phenomenon being studied. The target of the first analyses is the production of codes that relate directly to the data. Initially, concepts always have a provisional character, and in the course of the analysis they become more differentiated, numerous and abstract. The differentiated concepts are known as categories. Writing of memos Theoretical memos are based on the coding notes mentioned above and on broad interrelations that are gradually revealed by the investigator. The writing o( theoretical memos requires researchers to distance themselves from rhe data, and also helps them to go beyond purely descriptive work (motto 'Stop and memo!'). In the course of the analysis memos can become starting points for the formulation of the final manuscript. Exactly as with theoretical memos, there is a constant process of writing and revision (theoretical sorting). Working in a team of colleagues prevents one-sidedness and can speed up the episteinological process, for which reason working in a team of investigators and (research) supervision have proved to l>e of value. Open coding in open coding data are 'broken down' analytically, and in this the principle of grounded theory shows itself: from the data, that is from the text, a succession of concepts is developed that may ultimately be used as building blocks for the model. As a first step It is advisable to analyse single short textual passages (line by line). Subsequently larger paragraphs or even whole texts may he coded. In order to avoid simple paraphrasing, the following 'theory-generating' questions are asked of the text. • What? What is at issue here? What phenomenon is being addressed? • Who? What persons or actors are involved? What roles do they play? How do they interact? • How? What aspects of the phenomenon are addressed (or not addressed)? • When? How long? Where? How much? How strongly? • Why? What reasons aie given or may he-deduced? • For what reason? With what intention, and for what purpose? • By what means? What methods, tactics and strategies are used to achieve the goal? in coding researchers use their background knowledge about the context of the textual passage being investigated and, in general terms, their knowledge about the area of investigation. The lesult of the work is an interpretative text which adheres to analytical thinking about the phenomenon and which often contains questions about how the phenomenon might be further investigated (see 2.1 for an example). Theoretical codes in the sense of terms from scientific theories should initially be avoided. More profitable arc in-vivo <"0ffes< which, as colloquial interpretations of the phenomena, are taken directly from the language of Ihe field ot investigation. In-vivo codes are components of 'theories' formulated personally by the producers of the text in question. Traditional categories such as age, gender, level, and so on, should only he used after a thorough scrutiny of their relevance. The text and the researcher's background knowledge make it possible lO specify different aspects or properties of the phenomenon being invesligated. Mental comparisons (including false and extreme instances) provide some indication of the possible variation in these aspects or in their characteristics. If a particular aspect or property may be plotted on a continuum, then wc are dealing with a dimension. Open coding is an expanding procedure in the sense that considerable quantities of interpretative text can be added to a small segment of an original text. To retain an overview, the investigator should continually write memos, and son and weigh up the results of the work. In ordering the interim results it will become clear what concepts are important for the researcher's own question and therefore require deeper analysis, and what results should be discarded and not pursued in greater depth. Axial coding This step serves to refine and differentiate concepts that are already available and lends them the status of categories. One category is located at the centre and a network of relationships is © A COMPANION TO QUALITATIVE RESEARCH 1 Context and condMOM T Phenomenon t C .ť.» ill candifaunt Coniaqunnoii * 1 * Atüon ■.....■ '■ Figur« ÍDI Coding paiadigt) lor MX UI MfcftM rawareh qoeitio"» developed mound (t. typically, axial coding is used particularly in Ihe middle and later stages oí an analysts In Ihe same way as open coding, axial coding is applied lo very shon textual segments (in the >ense of a detailed analysis), to larger extracts of to the entire text. For theory-formation what is of particular importance is the development oi relationships between the axial categories and the concepts that are related to them In terms oi their formal and content aspects. The axial category Is developed in its tempoi.il and spatial relationships, in relationships oi can«' .»i